Enforcement record
Issuance of Warning Letter disclosure naming FSE証券
This page records the name used in a government disclosure. The match to a specific legal entity is unconfirmed, so no company profile, Corporate Number, address, representative, or related-company history is attributed here.
Action type
Issuance of Warning Letter
Law
Financial Instruments and Exchange Act
Authority
Financial Services Agency and Local Finance Bureaus
Action date
1 June 2026
RegBase evidence report
Japanese public-record enforcement check
Saveable record of the disclosure name, regulator source, and unconfirmed entity-match status for internal compliance review.
- Report ID
- RB-EN-ENFORCEMENT-KINSHOHO-FSEZHENG-202607121829
- Generated at
- 13 July 2026 at 03:29
- Record URL
- https://regbase.jp/en/enforcement/kinshoho-fsezheng-quan-20260601
1. Review Summary
| Disclosure name | FSE証券 (source disclosure name; entity match unconfirmed) | Corporate Number | Withheld — entity match unconfirmed |
|---|---|---|---|
| Enforcement record | 1 record | Other confirmed records for this company | Not evaluated — entity match unconfirmed |
| Action date | 1 June 2026 | Authority | Financial Services Agency and Local Finance Bureaus |
| Law | Financial Instruments and Exchange Act | Action type | Issuance of Warning Letter |
| Source status | Preserved public-source archive recorded | ||
This report summarizes public Japanese government disclosure data held by RegBase. It is not a credit score, sanctions conclusion, legal opinion, or adverse-media determination. Confirm important decisions against the linked official Japanese source.
2. Disclosure Name (Entity Match Unconfirmed)
| Source disclosure name | FSE証券 |
|---|---|
| Entity match | Unconfirmed — this record is not attributed to a specific legal entity. Company identifiers and profile details are intentionally omitted. |
3. Enforcement Record
| Target name in disclosure | FSE証券 |
|---|---|
| Authority | Financial Services Agency and Local Finance Bureaus (金融庁・財務局) |
| Law / action type | Financial Instruments and Exchange Act / Issuance of Warning Letter |
| Action / announcement date | Action: 1 June 2026 / Announcement: 1 June 2026 |
| English summary | The entity displayed that it conducts financial instruments business on a free email account, using the names [FSE Securities], [Fidelity Securities Exchange], and the registration number [Kanto Financial Bureau Director (Kinsho) No. 152], which was falsely claimed as the registration number of a financial instruments business operator. Fidelity Securities Co., Ltd., which is registered with the number [Kanto Financial Bureau Director (Kinsho) No. 152], has confirmed that it has no relation to the entity in question. |
| Original Japanese text | フリーメール上に金融商品取引業を行う旨を表示したもの 当該業者は、フリーメール上で「FSE証券」、「Fidelity Securities Exchange」、「関東財務局長(金商)第152号」等と表示し、財務局の登録番号を詐称していた。 なお、「関東財務局長(金商)第152号」は、登録を受けた金融商品取引業者である「フィデリティ証券株式会社」の登録番号であるが、フィデリティ証券株式会社が当該業者とは一切関係がない旨確認している。 |
| Official source | https://www.fsa.go.jp/ordinary/chuui/mutouroku.html |
| Source archive | https://kiroku.today/a/9fa660712el9kyh0 |
| Extraction / evidence timestamps | Extracted: 26 June 2026 at 00:43 / Evidence checked: 26 June 2026 at 00:43 / Archive captured: 20 June 2026 at 03:31 |
4. Business Location and Permit Details
No additional structured business-location or permit fields are recorded for this disclosure.
5. Other Confirmed Records for This Company
Related-company enforcement history is not shown because the match to a specific legal entity is unconfirmed.
Reviewer Notes
| Reviewer | Team / company | ||
|---|---|---|---|
| Review purpose | |||
| Additional notes | |||
- □ Official source URL or archived source was checked.
- □ Corporate Number, address, or other identifiers were reviewed to avoid confusing similarly named entities.
- □ This document is understood as a public-record evidence file, not a credit decision or legal opinion.
Current page: Enforcement record
This screen focuses on one disclosed action and preserves the source name exactly as published. The match to a specific legal entity is unconfirmed; no company profile or company-level history is attributed.
Free report
Save the disclosure record naming FSE証券
Includes the source disclosure name, regulator, governing law, source links, archive status, and an explicit unconfirmed entity-match notice. Company identifiers are omitted.
Preserved evidence by Kiroku
Review the preserved source for FSE証券 (entity match unconfirmed)
Open the preserved public source with its capture time, original artifact, available verification data, and downloadable evidence pack.
For developers: JSON integration details
You do not need this for normal browsing. Use it only when integrating this enforcement record into an internal tool or AI workflow.
Action summary
- Company
- FSE証券Japanese onlyOriginal: FSE証券Entity match unconfirmed — source disclosure name only.
- Entity match
- Unresolved entity match60/100Machine checkedCompany name extracted from the Japanese public disclosure
- Governing law
- Financial Instruments and Exchange Act金融商品取引法
- Action type
- Issuance of Warning Letter警告書発出
- Action date
- 1 June 2026
- Issuing authority
- Financial Services Agency and Local Finance Bureaus金融庁・財務局
- Industry context
- 無登録金融商品取引業者(国内)
Violation
The entity displayed that it conducts financial instruments business on a free email account, using the names [FSE Securities], [Fidelity Securities Exchange], and the registration number [Kanto Financial Bureau Director (Kinsho) No. 152], which was falsely claimed as the registration number of a financial instruments business operator. Fidelity Securities Co., Ltd., which is registered with the number [Kanto Financial Bureau Director (Kinsho) No. 152], has confirmed that it has no relation to the entity in question.
Show original Japanese text
フリーメール上に金融商品取引業を行う旨を表示したもの 当該業者は、フリーメール上で「FSE証券」、「Fidelity Securities Exchange」、「関東財務局長(金商)第152号」等と表示し、財務局の登録番号を詐称していた。 なお、「関東財務局長(金商)第152号」は、登録を受けた金融商品取引業者である「フィデリティ証券株式会社」の登録番号であるが、フィデリティ証券株式会社が当該業者とは一切関係がない旨確認している。
Compliance context
Context neededThis is a public Japanese regulatory disclosure. The exact legal effect depends on the cited source and regulator.
Financial markets law covering securities, investment services, disclosure, and market conduct.
Review the original Japanese source and determine relevance to your counterparty-risk workflow.
This context is an operational aid for review workflows, not a credit opinion or legal conclusion.
Evidence pack
- Extracted at
- 2026-06-25T15:43:53.279+00:00
- Evidence checked
- 2026-06-25T15:43:53.279+00:00
- Archive captured
- 2026-06-19T18:31:06.606588+00:00
Show audit JSON
{
"record": {
"id": "37a9fe39-adf0-4f8c-89d4-7c08686e15d4",
"url": "https://regbase.jp/en/enforcement/kinshoho-fsezheng-quan-20260601",
"company_name_original": "FSE証券",
"company_name_registry": null,
"corporate_number": null,
"law": {
"ja": "金融商品取引法",
"en": "Financial Instruments and Exchange Act"
},
"action_type": {
"ja": "警告書発出",
"en": "Issuance of Warning Letter"
},
"authority": {
"ja": "金融庁・財務局",
"en": "Financial Services Agency and Local Finance Bureaus"
}
},
"entity_match": {
"status": "unresolved",
"confidence": 60,
"method": "extracted_japanese_name",
"method_label": "Company name extracted from the Japanese public disclosure",
"notes": "The linked company profile has not been verified under the current identity policy."
},
"review": {
"status": "machine_reviewed",
"label": "Machine checked"
},
"compliance_context": {
"severity": "Context needed",
"actionMeaning": "This is a public Japanese regulatory disclosure. The exact legal effect depends on the cited source and regulator.",
"practicalNote": "Review the original Japanese source and determine relevance to your counterparty-risk workflow.",
"lawContext": "Financial markets law covering securities, investment services, disclosure, and market conduct."
},
"evidence": {
"recordUrl": "https://regbase.jp/en/enforcement/kinshoho-fsezheng-quan-20260601",
"officialSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"officialDocumentUrl": null,
"archiveUrl": "https://kiroku.today/a/9fa660712el9kyh0",
"archivedSourceUrl": "https://www.fsa.go.jp/ordinary/chuui/mutouroku.html",
"archiveCapturedAt": "2026-06-19T18:31:06.606588+00:00",
"extractedAt": "2026-06-25T15:43:53.279+00:00",
"translatedAt": "2026-07-06T04:21:45.561+00:00",
"evidenceCheckedAt": "2026-06-25T15:43:53.279+00:00",
"generatedAt": "2026-07-12T18:29:17.987Z"
},
"limitations": [
"RegBase aggregates public Japanese government disclosures and does not provide a credit opinion.",
"English summaries are provided for reference. The original Japanese source is authoritative.",
"Possible or unresolved entity matches should be manually verified before use in a decision."
]
}The original Japanese disclosure is the authoritative record. Use possible or unresolved matches only as leads for manual review.
Language
日本語版を見る (Japanese)About this recordAggregated and translated from public Japanese government disclosures. The English text is for reference only — authoritative content is the linked Japanese source.